merit event - understanding and managing data protection

Data Protection Act 1998Data Protection Act 1998

Introduction to

Data Protection

Alan Shipman

Group 5 Training Limited

BSI TrainingBSI Training

Objective for Session

To help you understand the

Data Protection Act 1998, and be able to assess your organisations level of

compliance

BSI Training WorkshopBSI Training WorkshopAgenda

• Definitions

• Data Protection Principles

• Responsibilities

• Policies and Notification

• Dealing with Data Processors

• Subject Access Procedures

• Manual Records

• Human Resource

BSI Training WorkshopBSI Training WorkshopAgenda

• Do you need to audit

• How to audit

• Data audit

• Responsibilities

• Procedures and processes

• How an audit is carried out

• Corrective Procedures

• Demonstrating compliance

IntroductionsIntroductions

DefinitionsDefinitions

The ActThe Act

Data Protection Act 1998

‘An Act to make provision for the regulation of the processing of

information relating to individuals …’

The ActThe Act

EU Data Protection Directive 95/46/EC

Objectives …

• No restriction on personal data flow in EU

• Right to privacy

Deadline for implementation

• 24 October 1998


Personal Data

Data which relates to a living individual who can be identified from those data, or from those data and other information which is in, or likely to come into, the possession of the data controller


Processing

• Includes obtaining, holding and carrying out any operation on data

• No requirement that processing is by reference to data subject

The Eight PrinciplesThe Eight Principles

PrinciplesPrinciples

The 8 Data Protection Principles

(Schedule 1)

First PrincipleFirst Principle

Personal data shall be processed fairly and lawfully, and in particular, shall not be processed unless:-

a) at least 1 of the conditions in Schedule 2 is met,

and

b) in the case of sensitive personal data, at least 1

of the conditions in Schedule 3 is also met

Schedule 2Schedule 2

What is fair?• Consent

• Contract

• Legal obligation

• Vital interests

• Public functions

• Legitimate interests

Sensitive DataSensitive Data

Personal data relating to:• Racial or ethnic origin

• Political beliefs

• Religious or other beliefs

• Trade union membership

• Physical or mental health

• Sexual life

• Commission of any offence

• Proceedings / convictions for any offence


What is fair?• Explicit consent

• Employment law

• Vital interests

• Activities of political, religious or trade unions

• Information made public

• Legal / regulatory proceedings

• Administration of justice

• Medical purposes

Second PrincipleSecond Principle

Personal data shall be obtained only for one or more specified purposes, and shall not be further processed in any manner incompatible with that purpose or purposes

Third PrincipleThird Principle

Personal data shall be adequate, relevant and not excessive in relation to the purpose for which it is processed

Fourth PrincipleFourth Principle

Personal data shall be accurate and where necessary, kept up to date

Fifth PrincipleFifth Principle

Personal data processed for any purpose shall not be kept for longer than is necessary for that purpose

Sixth PrincipleSixth Principle

Personal data shall be processed in accordance with the rights of data subjects under this Act

Seventh PrincipleSeventh Principle

Appropriate technical and organisational measures shall be taken against unauthorised or unlawful processing of personal data and against accidental loss or destruction of, or damage to, personal data

Eighth PrincipleEighth Principle

Personal data shall not be transferred to a country or territory outside the EEA unless that country or territory ensures an adequate level of Data Protection

Note: Does not apply if at least 1 of the conditions in Schedule 4 is met


When can you do it?• Consent

• Performance of contract with data subject

• Performance of contract with other

• Substantial public interest

• Legal proceedings

• Vital interests

• Public register

• Authorised by the Commissioner

ResponsibilitiesResponsibilities


The ‘Data Controller’ is the organization, but……..

• Someone must have overall responsibility– co-ordination role

– ensure that notification is up to date

– ensure that appropriate strategy is implemented

– focal point for queries

– reporting of issues


Policy

• Who writes it

• Who approves it

Approval by top management (e.g. the Board) demonstrates support and buy-in


Compliance audit

• Is the policy being implemented

• Are individuals following the procedures

• Audit report

• Resolve non-compliances

• Annual report (maybe)


Who!

• Who is actually responsible

• Who will be the first to get it wrong?

Any member of staff who handles personal data


Training

• Do individuals know what they must do– when talking to data subjects

– when handling personal data

– during system design

– when deciding security issues

• Ensure no-one acts recklessly


Training

• Give everyone guidelines

• Do they understand their responsibilities

• And what happens if they get it wrong


Subject access

• Who deals with subject access requests

• How are they dealt with– procedures

– time scales

– fees

NotificationNotification


What you have to do• Review current registration(s)

• Determine timescales

• Categorise your data– Use the Notification Handbook

• Check security arrangements


Notification• Check for exemptions– from notification

– from the Act

• Decide method– phone

– web


Current registration(s)• Get details of all registrations

• Find out when each one expires

• As current registrations run out - combine

• When last registration run out - notify

• Or just notify ASAP


Categorise Personal Data• Get relevant OIC notification template

• Compare with information audit results

• Categorise data– why have you got it (purpose) - Handbook 3.1.8

– who is it about (data subject) - Handbook 3.1.9

– what have you got (data class) - Handbook 3.1.10

– who might it be disclosed to (recipients) - Handbook 3.1.11


Check security arrangements

• Comply with BS 7799?

• Security policy / procedures

• Disaster recovery plans

• Security during transfer– physical

– encryption


Notification• What information do you need– identity

– purposes

– for each purpose• data subject

• data class

• recipients

– what countries are involved

– security measures


How?• Method– phone

– web

• What happens next– check form

– pay fees

– check register

• Keep it up to date (28 days)


Phone Notification• Be ready

• Contact by phone

• Answer questions


Web Notification• Where to go

• What do you see

• How does it work

Data ProcessorsData Processors


Definition

Process personal data on behalf of a Data Controller, and does not implement its own

purposes


Responsibilities

Who is responsible for data processed by a Data Processor?

The Data Controller - i.e. you!

Subject Access ProceduresSubject Access Procedures

Subject AccessSubject Access

Whole purpose of Data Protection law is to protect information about living

individuals and guard their privacy


Procedures• Who will deal with requests

• How will request be verified– identity

– in writing

– fees

• What has been requested (reasonable?)

• Keep an audit trail of requests


Procedures• How to respond– is processing occurring

– don’t correct it!

– copy of the data

– source (if known)

– not disclosed due to exemption

– disproportionate effort

– what if a third party is identified

• When to respond by (40 days)


Procedures• How to handle blocking requests– made by data subject

– validity

– ensure action

– audit trails

• Compensation


Procedures• Automatic processing–manual decision override

Manual RecordsManual Records

Manual RecordsManual Records

Types• Now included:– paper

– microfilm

– CCTV

– voice recording

• Be prepared!

Human ResourcesHuman Resources

Human ResourcesHuman Resources

Issues• Personnel files

• Managers own copies

• e-mails

• References

Do you need to audit?Do you need to audit?

Need to audit?Need to audit?

Do you know:

• Where you store personal data?

• Who has access to it?

• How do they use it?

• Are the security measures adequate?

If NO to any, you need to audit!

What an audit should achieveWhat an audit should achieve

Audit objectivesAudit objectives

What should be achieved?

• Demonstration of compliance

• Improved confidence

• Better procedures


Who is being audited?

• Your own organization– whole

– part

• A third party– data processor


Who undertakes DP audits?

• Internal auditor

• External auditor

• Information Commissioner

• Customers

Data auditData audit


Who knows what is processed?

• Department managers

• Records managers

• IT staff

• Users


How to audit

• Don’t ask open questions–What data have you got?

• Create a survey form

• Use the ‘headers’ from the Notification Handbook

Review responsibilitiesReview responsibilities


Are these responsibilities defined?• Who has specific responsibility

• Who approves policy

• Who audits compliance

• Who trains staff

• Who deals with subject access requests

• Who deals with security issues

Procedures and processesProcedures and processes

Processes & proceduresProcesses & procedures

Data Protection Policy

• Is there one?

• Has it been approved?

• Is it available to all?

• Are responsibilities included?

• Is the policy policed?

Processes & proceduresProcesses & procedures

Data Protection Co-ordinator

• Is there one?

• Conversant with the Act?

• Known to all staff?

• Able to liaise with other departments?

Data UseData Use

Fair processing

• When collecting data, is it performed fairly?–Do users know what they can do (and cannot

do)

Data UseData Use

Disclosure of data

• Do staff know when to disclose?

• Does the policy include guidelines and training requirements?

PeoplePeople

Management of people

• Are there appropriate management strategies for all staff?

• Does this include:– recruitment?

– training / direction?

– supervision / discipline?

PeoplePeople

Management of people

• Is there an effective communications system?

• Is DP compliance in contract of employment?

• Is there a disciplinary procedure?

DocumentationDocumentation

Management of documentation

• Are there adequate audit trails?

• Are there documented procedures:– collection, access, use?

– disclosure?

– transfer?

– disposal?

DocumentationDocumentation

Management of documentation

• Are there procedures for:– data subject explanations?

– recording of subject access requests?

– how to use data correctly?

– staff obligations / authority?

Data qualityData quality

Data audit

• Are there procedures for ensuring that data is:– adequate, relevant and not excessive?

– accurate?

– retention and destruction?

– security?


Data audit

• Do you review data quality?– effective training and communications?

– authority?

– procedures?

– review new systems?


Data audit

• Have you reviewed your processing?– information needs?

– storage formats?

– purposes?

– fair collection?

– fair use?


Data audit

• Have you reviewed your processing?– deleted unwanted data?

– information need policy?

– review procedures?

– review responsibilities?

– results documented?


Data audit

• Have you reviewed your processing?– results reviewed?

– identify ‘sensitive’ data?

– actions implemented?

– review complete?

– established need?


Data acquisition

• Is data collection:– restricted to a minimum?

– justified?


Data acquisition

• Do data collection procedures:– identify data need?

– identify minimum requirement?

– justify each item?

– check for alternative source?

– act in the best interests of subject

– authorise collection?


Data acquisition

• Are data collection forms appropriate?– paper?

–web?

– verbal?

• Does they include consent requirements?


Data accuracy

• Do you avoid recording of opinions?

• Where inaccurate data is held:– is it retained where it is a true record?

– are reasonable steps taken?

– is the data subject notified if necessary?


Data retention

• Are retention periods justifiable?

• Are retention periods sufficient?

• Has legal advice been taken?

• Have you checked for relevant Codes of Practice?


Data retention

• Are records up to date?

• Is accuracy checked?

• Is frequency of checking adequate?

• Is inaccurate data deleted where necessary?


Data destruction

• Is there a retention and destruction policy?

• Are these supported by procedures?

• Is compliance monitoring included?

• Is the retention schedule appropriate?


Data destruction

• Are there destruction procedures?

• Is inadvertent destruction prevented?

• Are destruction procedures audited?

SecuritySecurity

Security procedures

• Is security on the DP agenda?– technical?

– procedural?

• Supervision and training included?

SecuritySecurity

Security measures

• Is there an information security policy, including DP?

• Monitored and reviewed?

• Responsibilities?

• Staff procedures?

SecuritySecurity

Security measures

• Suitable technology used?

• Security levels appropriate?

• Security in Data Processor contracts?

• BS ISO 17799?

SecuritySecurity

Security threats

• Have these been identified?

• Contingency plans appropriate?

• Recovery times acceptable?

SecuritySecurity

Security procedures

• Security of data transfers?

• Security of destruction?

Subject Access RequestSubject Access Request

Procedures

• Is there a documented procedure?

• Does it check for request validity?

• Do you:– confirm you are processing?

– provide copy of the data?


Procedures

• Is there a manual override for automated processing?

• Are amendments stopped when a request is being processed?

• Is there a fee charging policy?


Procedures

• Is the request processed in time?

• Is there an identification procedure?

• Is the person who deals with requests known?

• Do searches include data processors?


Procedures

• Is data supplied in permanent form?

• Is there a procedure where disproportionate effort is claimed?

• Is the data source disclosed?

• Is there a telephone request procedure?


Procedures

• Is there a request form?

• Is there a procedure for requests by minors?

• Is there a procedure for requests on behalf of minors?


Procedures

• Is there a procedure for requests for references?– are the rights of third parties considered?

• Is there a procedure where objections to processing are received?

How to carry out an auditHow to carry out an audit

Audit processAudit process

How to audit?• Project plan

• Identify:– who should be interviewed

– which processes to review

– how to audit security measures

• Creating awareness

• Use the Workbook!


BSI-DISC Pre-Audit Workbook

PD 0012-5

• Assists and documents audit

• Provides statement of compliance

• Links to procedural documentation


Document results

• Necessary to demonstrate process and results

• Provides an audit trail of compliance

• Workbook is a great help!

Corrective Actions

Corrective ActionsCorrective Actions

What to do• Are there any gaps?

• Each gap should be reviewed and corrective action taken

• Look at subject access procedures first

• Use common sense!

• Pretend that it is your data!

Demonstrating Compliance

Data ProtectionData Protection

Demonstrating Compliance

• Completed Workbook

• Training records

• Policies

• Records of breaches and actions

• Records of subject access requests

Thank youThank you

Any Questions?Any Questions?

Alan ShipmanAlan Shipman07702-12526507702-125265

[email protected]@group5.co.uk

merit event - understanding and managing data protection

Business